OSC to report on exempt market deals
Summaries of exempt distribution information will be posted on the commission’s website
- By: James Langton
- October 16, 2015 December 19, 2017
- 08:50
Latest news in From the Regulators
Former rep banned, fined $50,000
An IIROC hearing panel finds a former broker performed unauthorized trades and failed to co-operate with an investigation
- By: IE Staff
- October 15, 2015 December 19, 2017
- 13:15
U.K. widens scope of senior manager personal responsibility principle
Proposed bill would extend principle to all sectors of the financial services industry
- By: James Langton
- October 15, 2015 December 19, 2017
- 08:40
BCSC alleges man breached settlement order
The mining company founder is prohibited from acting as a director or officer of any issuer for three years
- By: James Langton
- October 14, 2015 December 19, 2017
- 14:45
Report finds little impact of HFT on venture market
Claims of increased price volatility and short selling activity not supported by evidence
- By: James Langton
- October 14, 2015 December 19, 2017
- 12:15
UBS to pay US$19.5M to settle SEC charges
The case is its first involving misstatements and omissions by an issuer of structured notes, the SEC says
- By: James Langton
- October 14, 2015 December 19, 2017
- 09:30
U.S. regulators approve new rule to enhance OTC equities transparency
FINRA will publish data on all equity volume executed over-the-counter
- By: James Langton
- October 8, 2015 December 19, 2017
- 15:40
OSC Dialogue: Disclosure not enough to protect investors
Disclosure is largely a “waste of time” because investors don’t read it, Australian regulator says
- By: James Langton
- October 8, 2015 December 19, 2017
- 14:00
IOSCO discusses crowdfunding at Toronto meeting
The IOSCO board has endorsed plans to provide further guidance on crowdfunding, and to the administrators of financial benchmarks
- By: James Langton
- October 8, 2015 December 19, 2017
- 09:30
Laurentian Bank shakes up management team
Significant restructuring includes the elimination of 15 positions along with other executives taking on new responsibilities
- By: IE Staff
- October 7, 2015 December 19, 2017
- 14:40
MFDA initiatives focus on advisors
Karen McGuinness, sr. vice president, member regulation – compliance, Mutual Fund Dealers Association of Canada, discusses three initiatives of interest to advisors: CE requirements; proficiency…
- By: Karen McGuinness
- October 6, 2015 December 19, 2017
- 13:45
UK regulators publish new rules on whistleblowing
Companies would have to present a whistleblowing report every year
- By: James Langton
- October 6, 2015 December 19, 2017
- 10:55
IIROC submits debt market regulation fee model for approval
The SRO is to begin collecting debt trading data from dealers in November
- By: James Langton
- October 5, 2015 December 19, 2017
- 14:30
N.B. online insurance licensing system ready for public testing
The new system is expected to reduce delays and increase convenience for those selling insurance products
- By: IE Staff
- October 5, 2015 December 19, 2017
- 13:20
OSC to help small companies avoid common compliance deficiencies
Free seminars designed to help small public companies understand reporting requirements
- By: James Langton
- October 5, 2015 December 19, 2017
- 13:10
ESMA sees progress in reform of EU credit rating industry
Report examines regulators' efforts to provide stronger controls around credit ratings for structured finance instruments
- By: James Langton
- October 2, 2015 December 19, 2017
- 09:45
FSB reports progress on FX benchmark reforms
But there is still room for improvement among smaller players, report says
- By: James Langton
- October 1, 2015 December 19, 2017
- 15:00
ASC sanctions two men for illegal insider trading
But a hearing panel has imposed lower penalties after receiving direction from the Alberta Court of Appeal
- By: IE Staff
- October 1, 2015 December 19, 2017
- 14:00
HFT firm to pay more than US$8M to settle SEC charges
Latour Trading charged with market structure rule violations
- By: James Langton
- October 1, 2015 December 19, 2017
- 13:00
IIROC dismisses bids to limit hearing panel
The request for a panel constituted of members whose mother tongue is English is “not recognized by law”
- By: James Langton
- October 1, 2015 December 19, 2017
- 11:15
FINRA exam takers incorrectly received failing grades
Configuration error found in new version of Series 24 supervisory exam
- By: James Langton
- October 1, 2015 December 19, 2017
- 11:00
Alberta man convicted on 20 charges of breaching securities laws
The charges stem from the illegal sale of Locate Technologies Inc. securities
- By: IE Staff
- September 30, 2015 December 19, 2017
- 13:00
CFTC issues US$290K whistleblower award
The U.S. regulator says high quality information from whistleblowers is an essential part of its enforcement program
- By: James Langton
- September 30, 2015 December 19, 2017
- 09:30
Model law may help advisors prevent financial exploitation of seniors
NASAA’s proposal, which is now out for a 30-day comment, was introduced at its annual conference in San Juan, Puerto Rico, on Tuesday
- By: James Langton
- September 29, 2015 December 19, 2017
- 16:45
Alberta man jailed for role in investment scheme
This is the province’s first sentence to be handed down in a “pump and dump” market manipulation case
- By: James Langton
- September 29, 2015 December 19, 2017
- 15:30